James F. Karel

KAREL CAPITAL

SPOKANE, WA 99201

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CRD#: 861100

Professional summary

James Frederick Karel, who also goes by Jim Karel, is a registered financial advisor currently at KAREL CAPITAL, INC. located in Spokane, Washington and PETERSON INVESTMENT MANAGEMENT INC located in Spokane, Washington.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. James has worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Karel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Peterson Investment Management. Investment related, 4325 E 24th Lane, Spokane, WA 99223. The firm is a registered investment adviser. I am a non-employee IAR serving as the alternate for Peterson's business continuity and succession plan, if triggered. I have no daily responsibilities or currently spend any time serving the RIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Frederick Karel's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 7, 2012 - Present

KAREL CAPITAL, INC.

Office #1: 203 N Washington St Suite 200q, Spokane, WA 99201

RIA

CRD#: 105607

SPOKANE, WA

Current

November 23, 2020 - Present

PETERSON INVESTMENT MANAGEMENT INC

Office #1: 601 W Main Ave Ste 818, Spokane, WA 99201

RIA

CRD#: 105634

Spokane, WA

Past

July 18, 2016 - November 7, 2018

SILICON VALLEY WEALTH ADVISORS, LLC

RIA

CRD#: 106017

San Jose, CA

Past

December 23, 2013 - July 6, 2016

SILICON VALLEY WEALTH ADVISORS, LLC

RIA

CRD#: 106017

San Jose, CA

Past

April 4, 2006 - December 31, 2006

KAREL CAPITAL, INC.

RIA

CRD#: 105607

BURLINGAME, CA

Past

March 9, 2001 - January 2, 2003

NORTH COAST SECURITIES CORPORATION

CRD#: 35982

SAN FRANCISCO, CA

Past

October 8, 1998 - April 28, 1999

E*OFFERING

CRD#: 36717

SAN FRANCISCO, CA

Past

December 6, 1995 - November 5, 1996

SPECTRUM SECURITIES, INC.

CRD#: 29305

AROURA HILLS, CA

Past

September 12, 1991 - December 7, 1993

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

November 7, 1990 - July 12, 1991

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

SAN JUAN CAPISTRANO, CA

Past

September 1, 1987 - December 6, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

March 14, 1984 - August 11, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

January 2, 1979 - April 17, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/7/2019)

IAR

Washington
(6/7/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/17/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 3/11/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/16/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 11/16/1984

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

PETERSON INVESTMENT MANAGEMENT INC

CRD#: 105634 / SEC#: 801-15225

RIA

Registered Investment Advisory firm - (6/26/2012 Terminated)

California

Registered Investment Advisory firm - (4/30/2012 Approved)

Idaho

Registered Investment Advisory firm - (3/21/2025 Approved)

Washington

Registered Investment Advisory firm - (6/13/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Spokane, WA

Mailing Address

Phone number

(509) 991-0894

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	144
AUM (Assets Under Management)	$ 103,696,301

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James F. Karel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Frederick Karel's CRS (Customer Relationship Summary).

Certified licenses

Experience

PETERSON INVESTMENT MANAGEMENT INC

SILICON VALLEY WEALTH ADVISORS, LLC

SILICON VALLEY WEALTH ADVISORS, LLC

KAREL CAPITAL, INC.

NORTH COAST SECURITIES CORPORATION

E*OFFERING

SPECTRUM SECURITIES, INC.

FINANCIAL WEST GROUP

BROOKSTREET SECURITIES CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/2013

Series 63

Date: 6/1/1982

Series 3

Date: 3/11/1986

Series 7

Date: 12/16/1978

Series 8

Date: 11/16/1984

Current Firm

PETERSON INVESTMENT MANAGEMENT INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PETERSON INVESTMENT MANAGEMENT INC

TRUST BUT VERIFY

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